The Financial Advisor’s Guide to Regulatory Investigations

BEFORE you respond to a regulatory request, request a FREE copy of this book by attorney Joel Beck

Financial Advisors: If you’ve received a Rule 8210 letter from FINRA, find out what you should know before responding to the letter.

If you’ve received an information request letter from FINRA or another regulator, you very well may be experiencing all or some of these four things:

1. You’re worried and anxious about this process you find yourself in, and worried about your career.

2. You don’t know how to respond to the letter, what to include, what not to include, and don’t understand what will happen next.

3. You’re getting conflicting information from colleagues in the business and from your firm about what to do and what will happen, and you don’t know where to turn for help.

4. You may have reached out to some attorneys and may have found that many of them have no experience with financial markets regulatory matters and have never represented someone before FINRA or the SEC.

Attorney Joel Beck has worked to help bridge the information gap and give financial advisors a detailed overview of the regulatory examination and enforcement process, as well as to highlight some potential pitfalls that advisors might fall into when responding to these letters or dealing with the regulators. Joel believes that by having a basic understanding of the process and possible outcomes, financial advisors are better able to make key decisions along the way. And better decisions often lead to better outcomes.

* A detailed discussion of formal enforcement actions including AWCs, complaints, the offer of settlement, and the call for review

*A discussion of common sanction types involved in FINRA actions, and how sanctions are determined for each case

*A discussion of the issue of willfulness in Form U4 cases and the draconian sanction that might result from such finding

* A warning about other matters to consider beyond the FINRA investigation that might impact a financial advisor’s career and reputation.

If you’re a financial advisor who has recently received a Rule 8210 letter from FINRA or you’re expecting to receive one in the near future due to a Form U5 or other filing, we’ll send this book to you, for free. Just complete the form below so we can get it out to you. Requesting a free copy of The Financial Advisor’s Guide to Regulatory Investigations does not create an attorney-client relationship. And, don’t worry, we won’t share or sell your information with any third party and we won’t disclose to others that you requested this book.

Please note that if you’re an attorney, a consultant, a financial advisor not facing a regulatory examination, or someone else just interested in the information in the book, you can obtain a copy of this valuable resource directly from Amazon.

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This website is published to provide information about The Beck Law Firm, LLC, and Joel Beck, a Georgia lawyer and the lawyer responsible for this website, and is not provided as legal advice. The use of this website does not create a lawyer-client relationship, and we are not your lawyers until we have agreed, in writing, to represent you. Do not send any confidential information to The Beck Law Firm, LLC until we have requested it. The hiring of a lawyer is an important decision, and should not be based on advertisements and websites; please contact us for more information about our qualifications before making any decisions.